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Robust Stabilization Control of a Spatial Inverted Pendulum using Integral

Sliding Mode Controller

Article  in  International Journal of Nonlinear Sciences and Numerical Simulation · November 2020

DOI: 10.1515/ijnsns-2018-0029

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Robust Stabilization Control of a Spatial
Inverted Pendulum using Integral Sliding
Mode Controller
Ishan Chawlaa, Vikram Choprab and Ashish Singlaa*
a,c
Department of Mechanical Engineering, Thapar University, Patiala 147004, India
b
Department of Electrical and Instrumentation Engineering, Thapar University, Patiala 147004, India
(e-mail: ishanchawla4@gmail.com, vikram.chopra@thapar.edu, ashish.singla@thapar.edu)

ABSTRACT
From the last few decades, inverted pendulums have become a benchmark problem in dynamics and control theory. Due to their
inherit nature of nonlinearity, instability and underactuation, these are widely used to verify and implement emerging control
techniques. Moreover, the dynamics of inverted pendulum systems resemble many real-world systems such as segways, humanoid
robots etc. In the literature, a wide range of controllers had been tested on this problem, out of which, the most robust being the
sliding mode controller while the most optimal being the linear quadratic regulator (LQR) controller. The former has a problem of
non-robust reachability phase while the later lacks the property of robustness. To address these issues in both the controllers, this
paper presents the novel implementation of integral sliding mode controller (ISMC) for stabilization of a spatial inverted pendulum,
also known as an x-y-z inverted pendulum. The structure has three control inputs and five controlled outputs. Mathematical
modeling of the system is done using Euler Lagrange approach. ISMC has an advantage of eliminating non-robust reachability
phase along with enhancing the robustness of the nominal controller (LQR Controller). To validate the robustness of ISMC to
matched uncertainties, an input disturbance is added to the nonlinear model of the system. Simulation results demonstrate that the
proposed controller is more robust as compared to conventional LQR controller. Furthermore, the problem of chattering in the
controller is dealt by smoothening the controller inputs to the system with insignificant loss in robustness.

Keywords:
Spatial Inverted Pendulum, Robustness, Integral Sliding Mode Controller, Reachability, Stabilization

pendulum. The system has five degrees of freedom with three

1. INTRODUCTION control inputs which acts on the cart, while the pendulum is
In control theory, inverted pendulum is being treated as one indirectly controlled. It is an underactuated system with two
of the most attractive systems to test emerging control strategies degrees of underactuation. It can also be considered as a
due to its distinct features of instability, nonlinearity and combination of x-y and x-z inverted pendulums which makes it
underactuation [1]. Apart from that, the dynamics of inverted a more challenging system as the pendulum can fall off in
pendulum resembles many real-time systems such as lateral direction too (as in x-y inverted pendulum). Along with
underactuated robotic systems [2], rockets [3], vertical take-off that the cart can also move in vertical plane against gravity (as
and land (VTOL) aircrafts [4], segway [5], hoverboard [6] and in x-z inverted pendulum). Thus, the dynamics of the system is
humanoid robots [7] etc. Due to its applications in teaching and highly complex and nonlinear, which makes the mathematical
research experiments, a wide variety of inverted pendulum (IP) modeling and control of this system a challenging task.
systems exist, such as x inverted pendulum (commonly called The control literature of inverted pendulum comprises of
as linear inverted pendulum) [8], x-y inverted pendulum three classes of control problems, i.e., swing up control [15], in
(commonly called as spherical inverted pendulum) [9], x-z which pendulum is made to swing up from stable position
inverted pendulum [10], acrobat [11], pendubot [12], inertia (vertically downward position) to unstable position (vertically
wheel pendulum [13] and furuta pendulum [14] etc. upright position); stabilization control [16], in which pendulum
To extend the diversity of this benchmark system, this paper is stabilized at unstable position and tracking control [17] where
proposes a new kind of spatial inverted pendulum i.e. an x-y-z the directly actuated part (cart or rotary arm) of inverted
inverted pendulum, which can be seen as a human trying to pendulum is made to follow a particular trajectory along with
balance a stick on his palm, where his hand acts as a cart which balancing the pendulum at unstable position. Stabilization and
can move in three dimensional space while the stick acts as a tracking control are extensively researched because of their
 2

applicability in many real-world systems. In literature, a variety To derive the mathematical model of system, Euler Lagrange
of controllers exist for stabilization control of inverted approach is used with following assumptions:
pendulum such as LQR controller [17], pole placement 1. Effect of friction is neglected.
controller [18], PID controller [20], linear quadratic Gaussian 2. Since radius of pendulum is small, moment of inertia of
(LQG) controller [19] and state dependent riccati equation the pendulum is neglected.
(SDRE) based controller [20], sliding mode controller [21] and The kinetic energy (K) and the potential energy (P) of the
fuzzy controller [24, 25] etc. Among these controllers, LQR system can be represented as:
control is considered as the most optimal one while sliding 1 1 (1)
K = M ( x 2 + y 2 + z 2 ) + m( x P2 + y P2 + z P2 )
mode control is considered as the most robust control scheme. 2 2
However, the LQR controller lacks the characteristics of P = Mgz + mgz P (2)
robustness while sliding mode controller has a reachability Here ( x , y , z ) is the velocity of the base in the xyz coordinate
phase in which the controller is sensitive to uncertainties. To
system. Similarly ( x P , y P , z P ) and ( x P , y P , z P ) are the
solve these problems in sliding mode and LQR controller,
recently an integral sliding mode controller is developed for position and velocity of the base in the ( x ' y ' z ' ) coordinate
trajectory tracking of cart inverted pendulum [26]. However to system. M , m represents the mass of the base and the pendulum
the best of author’s knowledge, no work has been done till date respectively and g is the acceleration due to gravity. Also,
to extend this controller to higher order inverted pendulum x P = x + l cos  sin 
systems. y P = y + l cos  sin 
This paper presents the novel implementation of a robust
z P = z + l cos  cos 
integral sliding mode controller for stabilization of a spatial
inverted pendulum. The proposed controller is robust to The Lagrangian (L) of x-y-z inverted pendulum is given as:
matched uncertainties along with an advantage of avoiding non- L=K −P
robust reachability phase. To validate the robustness, 1 1 (3)
simulation results of the proposed controller are compared to L = M ( x + y + z 2 ) + m( x P2 + y P2 + z P2 ) −
2 2

2 2
the conventional LQR controller. ( Mgz + mgz P )
This paper is organized as follows: Section 2 illustrates the
mathematical modeling of spatial inverted pendulum while Using Euler Lagrange approach the equations of motion are
Section 3 discusses the design of integral sliding mode given as:
controller. In Section 4, the simulation and comparison results d L L
( )− = Fx
are presented. Finally, the results are summarized in last dt x x
section. d L L
( )− = Fy
dt y y
2. MATHEMATICAL MODELING OF SPATIAL d L L (4)
( )− = Fz
INVERTED PENDULUM. dt z z
d L L
The schematic diagram of a spatial inverted pendulum is shown ( )− = 0,
dt  
in Figure 1. The cart is controlled by a vertical force (Fz) and a
d L L
pair of horizontal forces (Fx, Fy) while the pendulum is pivoted ( )− =0
dt  
to cart and is indirectly controlled. Here, l represents the
distance from the cart pivot to the centre of mass of the
pendulum; M and m represents the mass of the cart and the Using (3) and (4) the equations of motion for the spatial
pendulum respectively; θ and ϕ represents the pendulum angle inverted pendulum are expressed as:
from the vertical axis, as seen in x-z and y-z plane respectively.
( M + m) x + ml cos  cos  − 2ml sin  cos  − ml sin  sin  − (5)
ml cos  sin  (2 + 2 ) = F x

(M + m) y + ml cos cos − 2ml sin  cos − ml sin  sin  − (6)
ml sin  cos ( 2 + 2 ) = F
y

( M + m)z − ml sin  cos  + 2ml sin  sin  − (7)

ml cos  cos  ( 2 +  2 ) − ml cos  sin  + ( M + m) g = F z

Figure 1. Spatial inverted pendulum

 3

(ml 2 cos 2  + ml 2 sin 2  sin 2  ) + (−2ml 2 cos 2  sin  cos ) +  2 (ml 2 sin 2  sin  cos ) +  2 (ml 2 sin 2  sin  cos ) − (8)
(ml 2 sin  sin  cos cos ) − (ml sin  sin  ) y + (ml cos cos ) x − (ml cos sin  )z − mgl sin  cos = 0

(ml 2 cos2  + ml 2 sin 2  sin 2  ) + (−2ml 2 cos2  sin  cos  ) + 2 (ml 2 sin 2  sin  cos  ) + 2 (ml 2 sin 2  sin  cos  ) − (9)
(ml 2 sin  sin  cos  cos  ) − (ml sin  sin  ) x + (ml cos  cos  ) y − (ml cos  sin  )z − mgl cos  sin  = 0

The equations of motion given in (5-9) are further linearized representation ( 𝒙̇ (𝒕) = 𝑨𝒙(𝒕) + 𝑩𝒖𝒏 (𝒕) is formulated by taking
(for designing LQR Controller) about unstable equilibrium a state vector 𝒙(𝒕) = [𝑥 𝑥̇ 𝑦 𝑦̇ 𝑧 𝑧̇ 𝜃 𝜃̇ 𝜙 𝜙̇ ]𝑇 given as :
point (vertically upright pendulum position) and a state space

0 1 0 0 0 0 0 0 0 0  0 0 0 
 x 
 x  − mg  x   1
0 0 

0 0 0 0 0 0 0 0 0     M
  M x
 
0 0 0 1 0 0 0 0 0 0  y   0 0 0 
 y   
   − mg  1
 y 0 0 0 0 0 0 0 0 0  y   0 0 
 M    M 
 z 
0 0 0 0 0 1 0 0 0 0  z   0 0 0   Fx 

  =   +  1   Fy
z  0 0 0 0 0 0 0 0 0 0  z  0 0 
   M + m   F − g ( M + m) 
     0  
  0 0 0 0 0 0 0 1 0 0  0 0  z

0 ( M + m) g     1 
 0 0 0 0 0 0 0 0   − 0 0 
   Ml
0  
1    Ml 
  0 0 0 0 0 0 0 0
 0 0 0 
   ( M + m) g 
  0 0 0 0 0 0 0 0 0    0 − 1 0 
 Ml   Ml 

3. DESIGN OF INTEGRAL SLIDING MODE 𝒙̇ (𝒕) = 𝑨𝒙(𝑡) + 𝑩𝒖𝒏 (𝑡) (10)

CONTROLLER where, x(t) represents a state-vector, u n (t) denotes an input
ISMC was first presented by Utkin & Shi [27] in 1996, with
vector, A and B are called as the state-weighing coefficient
a basic idea of avoiding the non-robust reachability phase
matrices. The LQR cost function is formulated as
present in conventional sliding mode controller by enforcing a
1 ∞ (11)
sliding mode from the initial value of the system response, 𝑱𝒐 (𝑡) = ∫ (𝒙𝑻 (𝑡) 𝑸 𝒙(𝑡) + 𝒖𝑻 (𝑡) 𝑹 𝒖(𝑡))𝑑𝑡
which implies that it will provide robustness to matched 2 0
uncertainties during the entire system response. While where, Q is a state weighing matrix, R is a control cost matrix.
designing an ISMC, it is considered that there exists a state Both matrices are user driven and employs a crucial role in the
feedback controller which has already been properly designed controller performance. The control input is expressed as
for nominal plant to ensure asymptotic stability as well as 𝒖𝒏 (𝑡) = 𝑲𝒆(𝑡) = 𝑲(𝒙𝒅𝒆𝒔 (𝑡) − 𝒙(𝑡)) (12)
predefined performance of the system. To maintain the nominal where, e represents an error vector, 𝒙𝒅𝒆𝒔 (𝑡) is the desired state-
performance along with insensitivity to external disturbances vector and K is the final optimal state feedback control matrix,
and matched uncertainties, a discontinuous sliding mode which is given as
controller is combined to the nominal state feedback controller. 𝑲 = 𝑹−𝟏 𝑩𝑻 𝑷 (13)
This design philosophy provides ISMC a flexibility to retro-fit here, P is the solution for the algebraic Riccati equation as given
in the existing state feedback controller to compensate the below:
impact of matched uncertainties and external disturbances on 𝑷𝑨 + 𝑨𝑻 𝑷 − 𝑷𝑩𝑹−𝟏 𝑩𝑻 𝑷 + 𝑸 = 𝟎 (14)
the system response [28]. From (13) and (14) it is clear that matrix K is governed by A, B,
To develop an ISMC controller first of all, a nominal Q and R matrices, in which, A and B are dependent on
controller is designed assuming the nominal plant as given in configuration and parameters of the system. Q and R should be
(10). The nominal controller chosen is an LQR controller due selected in accordance with estimated performance criterion.
to its advantage of being optimal and easy to tune. The LQR
controller works with an objective of minimizing the cost
function, given in (18). The state space representation of the Furthermore, after designing a nominal controller, a
nominal plant system is given below: discontinuous sliding mode controller is integrated with
 4

nominal controller to compensate the effect of parametric Thus from (24), it can be seen that the effect of matched
uncertainties and input disturbance. The plant dynamics with uncertainty has been completely rejected and the system is
parametric uncertainties and input disturbance is represented governed by (24) for which nominal control input 𝒖𝒏 (𝒕) is
below. given by nominal controller (LQR Controller) Furthermore,
using (19) and (22), the integral sliding surface which
𝒙̇ (𝒕) = 𝑨 𝒙(𝒕) + 𝑩 𝒖(𝒕) + 𝒅(𝒙, 𝒕) (15) eliminates the reachability phase is given as
The additional 𝒅(𝒙, 𝒕) term in (15) accounts for unmolded plant 𝑡
(25)
dynamics and input disturbance which satisfies the matching 𝒔(𝒕) = 𝑮{𝒙(𝒕) − 𝒙(𝟎) − ∫ (𝑨 𝒙(𝒕) + 𝑩 𝒖𝒏 (𝒕))𝑑𝑡}
0
condition given by
Note that, the term −𝒙(𝟎) in (25) ensures that 𝒔(𝟎) = 0, so the
𝒅(𝒙, 𝒕) = 𝑩 𝒅𝒎 (16) reachability phase is eliminated. Thus, the sliding mode will
exist from the very beginning (𝑡 = 0) and the system robustness
Where 𝒅𝒎 denotes a bounded disturbance in input with some against matched uncertainties is ensured throughout the entire
known maximum value. The control input for the system in (15) closed loop system response. The matrix G is chosen as 𝑮 =
is given as 𝑩+ so as to ameliorate the effect of unmatched disturbance [27].
(17) Here, 𝑩+ denotes left inverse of B and is given by
𝒖 = 𝒖𝒏 + 𝒖𝒅
𝑮 = 𝑩+ = (𝑩𝑻 𝑩)−𝟏 𝑩 (26)
where, 𝒖𝒏 represents the nominal control input given by
nominal (LQR) controller and 𝑢𝑑 represents the discontinuous
Stability Analysis
control input given by sliding mode controller. On substituting
the value of 𝒖 in (17) into (15), the plant dynamics can be The discontinuous control input for sliding mode control is
represented as: computed using Lyapunov stability theorem. The Lyapunov
function considered is given as
𝒙̇ (𝒕) = 𝑨 𝒙(𝒕) + 𝑩 𝒖𝒏 (𝒕) + 𝑩 𝒖𝒅 (𝒕) + 𝑩 𝒅𝒎 (18)
𝑽(𝒕) = 0.5 𝒔𝑻 (𝒕) 𝒔(𝒕) (27)
The sliding surface for sliding mode controller is taken as
From (34), 𝑽̇(𝒕) can be given as:
𝒔(𝒕) = 𝑮𝒙(𝒕) + 𝒛(𝒕) (19)
𝑽̇(𝒕) = 𝒔𝑻 (𝒕) 𝒔̇ (𝒕) (28)
Where G is a user-defined matrix. During sliding 𝒔(𝒕) =
Furthermore
𝒔̇ (𝒕) = 0 and therefore
𝑽̇(𝒕) = 𝒔𝑻 (𝒕) 𝑮𝑩𝒖𝒅 (𝒕) + 𝒔𝑻 (𝒕)𝑮 𝑩 𝒅𝒎 (29)
𝒔̇ (𝒕) = 𝑮𝒙̇ (𝒕) + 𝒛̇ (𝒕) = 0 (20)
Now the discontinuous control input which satisfy Lyapunov
Substituting the value of 𝒙̇ (𝒕) form (18) in (20), we obtain: stability condition 𝑉̇ < 0 is chosen as
𝒔̇ (𝒕) = 𝑮(𝑨 𝒙(𝒕) + 𝑩 𝒖𝒏 (𝒕) + 𝑩 𝒖𝒅 (𝒕) + 𝑩 𝒅𝒎 ) (21) 𝒔(𝒕) (30)
+ 𝒛̇ (𝒕) = 0 𝒖𝒅 = −𝑴
‖𝒔(𝒕)‖

During sliding it is expected that 𝒖𝒅 𝒆𝒒 (𝒕) = − 𝒅𝒎 i.e. it should Substituting the value of 𝑢𝑑 from (20) in (29) yields:
compensate for the uncertainty, then selecting
𝑽̇(𝒕) = −𝑮𝑩𝑴‖𝒔(𝒕)‖ + 𝒔𝑻 (𝒕)𝑮 𝑩 𝒅𝒎 (31)
𝒛̇ (𝒕) = −𝑮(𝑨 𝒙(𝒕) + 𝑩 𝒖𝒏 (𝒕)), 𝒛(𝟎) = −𝑮𝒙(𝟎) (22)
Since 𝑮 = 𝑩+ implies 𝑮𝑩 = 1, therefore (31) can be further
written as
Ensures
𝑽̇(𝒕) = −𝑴‖𝒔(𝒕)‖ + 𝒔𝑻 (𝒕) 𝒅𝒎 (32)
𝒔̇ (𝒕) = 𝑮𝑩𝒖𝒅 (𝒕) + 𝑮 𝑩 𝒅𝒎 (23)
≤ ‖𝒔(𝒕)‖(−𝑴 + ‖𝒅𝒎 ‖) (33)
And so during sliding 𝒖𝒅 𝒆𝒒 (𝒕) = − 𝒅𝒎 . Substituting the value
of 𝒖𝒅 𝒆𝒒 (𝒕) in (23), the system is governed by So for the system to be stable ( 𝑽̇ < 0), the value of the
modulation gain M should be chosen as
𝒙̇ (𝒕) = 𝑨 𝒙(𝒕) + 𝑩 𝒖𝒏 (𝒕) (24)
𝑴 ≥ ‖𝒅𝒎 ‖ (34)
 5

Hence, the above condition will enforce the sliding mode and Figure 2. Input disturbance
therefore ensure the stability of the system. The tuning parameters for LQR (nominal) controller are chosen
as Q = diag [5, 1, 5, 1, 5, 1, 1, 20, 1, 20] and R= diag [1, 1, 1]
using which, LQR gain K is calculated as
4. RESULTS AND DISCUSSIONS − 2.23 − 3.45 0 0 0 0 − 34.71 − 7.40 0 0 
This section comprises of simulation results for ISMC K =  0 0 − 2.23 − 3.45 0 0 0 0 − 34.71 − 7.40
controller on spatial inverted pendulum. The control objective  0 0 0 0 2.23 2.43 0 0 0 0 
is to stabilize the pendulum at an unstable point i.e. the
Thus, the nominal control input 𝒖𝒏 (𝒕) is given as
vertically upright position, while the cart is to track the desired
𝒖𝒏 (𝑡) = −𝑲𝒆(𝑡) = 𝑲(𝒙𝒅𝒆𝒔 (𝑡) − 𝒙(𝑡)) (35)
trajectory. The parameters of the spatial inverted pendulum are
To compensate the effect of input disturbance of
given in Table 1.
magnitude 𝑑𝑚 = 1, M is chosen as 1.1. The design matrix G
Table 1: Spatial inverted pendulum parameters
using (26) is computed as
M m l g
(kg) (kg) (m/s2)
(m) 0 0.0826 0 0 0 0 0 − 0.2752 0 0 
1 0.1 0.3 9.8 
G = 0 0 0 0.0826 0 0 0 0 0 − 0.2752
To demonstrate the robustness of the proposed controller to 0 0 0 0 0 1.1 0 0 0 0 
matched uncertainties, an input disturbance in the form of a sin
wave of magnitude 1 Newton and frequency 2 rad/sec (as Thus, the discontinuous control input 𝒖𝒅 (𝒕) is given as:
shown in Figure 2) is added to the plant and the results obtained 𝒔(𝒕) (36)
𝒖𝒅 (𝒕) = −1.1
are compared with LQR controller. ‖𝒔(𝒕)‖
Incorporating (35) and (36) in (17), yields
𝒔(𝒕) (37)
𝒖(𝒕) = −𝑲𝒆(𝒕) − 1.1
‖𝒔(𝒕)‖
The simulation results are obtained using Matlab Simulink
block diagram as shown in Figure3. Furthermore, to verify the
improved robustness, comparison of simulation response of
LQR and ISMC controller is shown in Figure 4. It can be clearly
seen that ISMC outperformed LQR controller with less
overshoot and vibration along with improved robustness to
input disturbance.

Figure 3. Simulink diagram of ISMC on Spatial inverted pendulum

 6

Figure 4. Comparison of response of LQR controller with ISMC (red line: ISMC; blue line: LQR controller)
 7

Figure 5: Comparison of Response of smooth ISMC with ISMC on XYZIP (red line: ISMC; black line: Smooth ISMC)

Also, it can be noted that the discontinuous control input Modelling, Identification and Control, vol. 4, pp. 357-
𝒖𝒅 (𝒕) contains a signum function, which leads to abrupt 372, 2008.
switching in control input (chattering) and thus might be 3. C.W. Anderson, “Learning to control an inverted
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17. J.J. Wang, “Simulation studies of inverted pendulum scholar in Mechanical and Industrial
Based on PID controllers,” Simulation Modelling Engineering Department of IIT Roorkee.
Practice and Theory, vol. 19, pp. 440-449, 2011. He received his B.Tech. (Mechanical)
18. E.V. Kumar and J. Jerome, “Robust LQR controller degree from Punjabi University, Patiala,
design for stabilizing and trajectory tracking of in 2015, M.E. in CAD/CAM from Thapar
inverted pendulum,” Procedia Engineering, vol. 64, University, Patiala. His areas of interest
pp. 169-178, 2013. include Robust Control, Intelligent Control and Robotics.
19. A. Kathpal and A. Singla, “Sim Mechanics Based
Modeling, Simulation and Real Time Control of Vikram Chopra is working as an Assistant
Rotary Inverted Pendulum,” in 11th IEEE Professor in the Dept. of Electrical &
International Conference on Intelligent Systems and Instrumentation Engineering. He did his
Control, 2016, pp. 166-172. PhD from the same Department in the
20. A. Ghosh, T.R. Krishnan and B. Subudhi, “Robust PID field of nonlinear control. He has more
compensation of an inverted cart-pendulum system: an than 8 years of experience in teaching and
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Applications, vol. 6, pp. 1145-1152, 2012. in the area of control system. His areas of interest include
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robot”, Intelligent Control and Automation, vol. 2, pp.
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pendulum on a cart with state dependent riccati underactuated systems, assistive and
equations”, World Academy of Science, Engineering wearable devices. He has more than 10
and Technology, vol. 41, pp. 671-675, 2008. years of experience in industry, teaching
23. I. Yigit, “Model free sliding mode stabilizing control and research. He received his doctoral
of a real rotary inverted pendulum”, Journal of degree in the field of flexible
Vibration and Control, vol. 23, pp. 1645-1662, 2015. manipulators from IIT Kanpur in 2012. Since 2010, he is
24. H.L. Bui, D.T. Tran and N.L. Vu, “Optimal fuzzy working as an Assistant Professor in the Department of
control of an inverted pendulum”, Journal of Vibration Mechanical Engineering, Thapar University, Patiala. He
and Control, vol. 18, pp. 2097-2110, 2012. visited University of Gävle, Sweden in 2015 as a Visiting
25. A. Nagar, M. Bardini and N. M. Rabaie, “Intelligent Researcher and in 2017, he worked as a Visiting Assistant
control for nonlinear inverted pendulum based on Professor in the Department of Mechanical Engineering,
interval type-2 fuzzy PD controller”, Alexandria State University of New York, Stony Brook, USA to do
Engineering Journal, vol. 53, pp. 23-32, 2013. research in the field of wearable and assistive devices.
26. P. Bhavsar and V. Kumar, “Trajectory tracking of
linear inverted pendulum using integral sliding mode
control”, International Journal of Intelligent Systems
and Applications, vol. 6, pp. 31-38, 2012.
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systems operating under uncertainty conditions”,
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26. MT Hamayun, C Edwards and H Alwi, “Fault tolerant
control schemes using integral sliding modes”
Springer, 2016

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